Fiduciary

Displaying 1036 results

Topic

Answers to the SEC’s Reg BI FAQs depend on facts, circumstances

When the CFP Board provides guidance for its fiduciary standard, it uses case studies

Topic

Finra probes brokerage bank sweep accounts as commissions dwindle

Expert: Interest rate discussions with clients ‘can be problematic’

Topic

Mitigating the 3 common conflicts of AUM fiduciaries

Advisers who use an assets-under-management model should lead with planning and do what’s in the best interest of their clients at all turns

Topic

Brokerage industry opposes Massachusetts fiduciary rule proposal at hearing

Investor-protection advocates don’t expect state to water down measure

Topic

Reg BI allows brokers doing planning to avoid becoming fiduciaries: FPA

Group files amicus brief in support of lawsuits seeking to overturn regulation

Topic

Key to complying with Reg BI: Make a reasonable effort to act in the client’s best interest

SEC official: 'Can I demonstrate how I got to this recommendation?'

Topic

The risks of giving advice to 401(k) participants

401(k)-plan advisers are well-positioned to provide investment advice to participants, but it could prove legally treacherous.

Topic

Top 10 fiduciary misconceptions among 401(k) plan sponsors

These may be more problematic than fiduciary mistakes

Topic

Scalia might have to recuse himself from DOL fiduciary rule rewrite

Labor Secretary nominee tells lawmakers ethics rules could limit his work on matters connected to his former clients.

Topic

Reg BI suits promise long legal fight over whether SEC did enough to protect investors

Did the SEC ignore congressional intent, or was it on solid ground creating a new broker standard?

Subscribe

Get unlimited access to investmentnews.com

Starting at $4.95 a week for 4 weeks

SIGN UP

Pay just $4.95 for the first 4 weeks